SEC Form 4 · accession 0001209191-17-030960
AMERICAN FINANCIAL GROUP INC · AFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
S Craig Lindner
Officer — Co-CEO & Co-President · Director
Period of report
May 5, 2017
Accepted (ET)
May 9, 2017 · 4:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001042046
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 5, 2017 | M | 21,338 | $24.83 | A | 2,591,138 | I | #1 |
| Common StockF2,F1 | May 5, 2017 | S | 21,338 | $99.5426 | D | 2,569,800 | I | #1 |
| Common StockF1 | May 8, 2017 | M | 4,021 | $24.83 | A | 2,573,821 | I | #1 |
| Common StockF3,F1 | May 8, 2017 | S | 4,021 | $99.2115 | D | 2,569,800 | I | #1 |
| Common StockF1 | May 9, 2017 | M | 1,116 | $24.83 | A | 2,570,916 | I | #1 |
| Common StockF4,F1 | May 9, 2017 | S | 1,116 | $98.7349 | D | 2,569,800 | I | #1 |
| Common StockF5 | holding | — | — | — | 113,096 | I | #3 | |
| Common StockF6 | holding | — | — | — | 31,506 | I | #12 | |
| Common StockF7 | holding | — | — | — | 2,311,386 | I | #27 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option ExerciseF8 | $24.83 | May 5, 2017 | M | 21,338 | D | — | Feb 11, 2020 | Common | 21,338 | 28,662 | D |
| Stock Option ExerciseF8 | $24.83 | May 8, 2017 | M | 4,021 | D | — | Feb 11, 2020 | Common | 4,021 | 24,641 | D |
| Stock Option ExerciseF8 | $24.83 | May 9, 2017 | M | 1,116 | D | — | Feb 11, 2020 | Common | 1,116 | 23,525 | D |
Explanation of responses
- F1Indirect #1: SCL TTEE of the SCL Living Trust DTD 03/30/83.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.21 to $99.70, inclusive. The reporting person undertakes to provide to American Financial Group, Inc., ("AFG"), any security holder of AFG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Footnote (2) and Footnotes (3)and (4).
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.15 to $99.545, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.70 to $98.80, inclusive.
- F5Indirect #3: By Frances R. Lindner, Trustee for the Frances R. Lindner Living Trust dated 9/13/93.
- F6Indirect #12: Held in the Company's Retirement and Savings Plan. The number of shares of Common is based on a statement dated as of 12/31/2016.
- F7Indirect #27: Shares voting and dispositive power and holds a remainder interest in shares held directly or indirectly by a charitable lead annuity trust. The reporting person disclaims beneficial interest of the shares held by the trust except to the extent of his pecuniary interest in such shares.
- F8These Employee Stock Options become exercisable in five equal installments beginning on the first anniversary of the grant date.